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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

CHI MAK

Advisor at TD PRIVATE CLIENT WEALTH LLC

Flushing, NY | NEW YORK, NY

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Search this name across graphsid dfx:ria:d61937eb-a56c-351b-2eb7-8922fe1ba24d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Nov 21, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: TD PRIVATE CLIENT WEALTH LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 5, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 4
Exams: S66|S63
First exam: Dec 5, 2005
First registration: Nov 21, 2007
Dual registered: yes, broker-dealer
Other names: CHI CHUI MAK
IAPD individual key: 5045071

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
TD PRIVATE CLIENT WEALTH LLC	Bd affiliated wealth	Jun 28, 2023	n/a	yes	Flushing, NY\|NEW YORK, NY	Current employment
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Oct 5, 2018	Jun 23, 2023	no	Jamaica, NY\|FLUSHING, NY\|Astoria, NY	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Sep 1, 2016	Oct 12, 2018	no	FLUSHING, NY\|FLUSHING, NY\|FLUSHING, NY\|MINEOLA, NY	Previous registration
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Jul 1, 2016	Aug 15, 2016	no	FLUSHING, NY\|Uniondale, NY\|FLUSHING, NY\|FLUSHING, NY\|FLUSHING, NY	Previous registration
ESSEX NATIONAL SECURITIES, INC.	Former SEC adviser	Apr 26, 2010	Jul 1, 2016	no	FLUSHING, NY\|WILLIAMSBURG, NY\|FOREST HILLS, NY\|FLUSHING, NY\|Uniondale, NY\|FLUSHING, NY\|FLUSHING, NY	Previous registration
ESSEX NATIONAL SECURITIES, INC.	Former SEC adviser	Apr 13, 2009	Apr 26, 2010	no	FLUSHING, NY\|FLUSHING, NY\|FLUSHING, NY\|FLUSHING, NY	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Nov 21, 2007	Mar 26, 2009	no	FOREST HILLS, NY\|FLUSHING, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OSAIC INSTITUTIONS, INC.	TD PRIVATE CLIENT WEALTH LLC	Jun 23, 2023	Jun 28, 2023	5	Firm change	Ibd to ibd
J.P. MORGAN SECURITIES LLC	OSAIC INSTITUTIONS, INC.	Oct 12, 2018	Oct 5, 2018	-7	Firm change	Wirehouse to ibd
OSAIC INSTITUTIONS, INC.	J.P. MORGAN SECURITIES LLC	Aug 15, 2016	Sep 1, 2016	17	Firm change	Other
ESSEX NATIONAL SECURITIES, INC.	OSAIC INSTITUTIONS, INC.	Jul 1, 2016	Jul 1, 2016	0	Bulk transfer	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	ESSEX NATIONAL SECURITIES, INC.	Mar 26, 2009	Apr 13, 2009	18	Firm change	Other

Relationships

Registered with (5)

→ TD PRIVATE CLIENT WEALTH LLCRegistered adviserregistration: current employment
Jun 28, 2023 to presentfactForm ADV
→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: previous registration
Oct 5, 2018 to Jun 23, 2023factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Sep 1, 2016 to Oct 12, 2018factForm ADV
→ ESSEX NATIONAL SECURITIES, INC.Registered adviserregistration: previous registration
Apr 26, 2010 to Jul 1, 2016factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Nov 21, 2007 to Mar 26, 2009factForm ADV

Dated events

Occurred
Jun 23, 2023
Advisor changed firm
Chi Mak left Osaic Institutions, Inc. for Td Private Client Wealth Llc (registered 2023-06-28)
Form ADVobserved 5 days ago